Fiduciaries to Pay $39M for Raiding Death Benefit Plans; Outcry Over DOL Rule Continues
A federal court entered a $39.8 million judgment in favor of workers who participated in more than 400 death benefit plans.
Must Have Certifications And Designations For Retirement Planners
Helping others to realize their dreams is certainly no easy matter. It requires financial smarts, the right credentials, and no small measure of passion.
IMCA to Offer Online Courses With MIT Sloan for CIMA Certification
Program joins business schools at Penn, Chicago and Carnegie Mellon in offering educational component for CIMA candidates.
Top 15 States With Most RIAs
The number of RIA firms increased to 31,975, according to SIFMA’s 2014 Factbook, despite an active merger year.
Fighting Financial Exploitation of Seniors
Senators, SEC Investor Advocate Rick Fleming and NASAA ponder whether new laws and programs could make it easier to report financial abuse.
Rainbow Warriors: Working With LGBT Clients
Investment Advisor’s February cover story focuses on how LGBT clients need help protecting their finances from a blitz of varying state laws.
Vanguard Boasts a Trillion Dollars Worth of Boredom and Counting
Martha King makes the non-excitement of Vanguard into a virtue at the Inside ETFs Conference.
Raymond James Picks Up $1.3M Rep From UBS
Also, Stratos Wealth added two advisors near Columbus, Ohio.
Mariner Acquires RIA Vantage Investment Advisors
Mariner Wealth Advisors expands its Northeast presence with acquisition of Pennsylvania-based RIA firm Vantage Investment Advisors.
Morgan Stanley Said to Uncover Theft After Ad Sought Speedcoins for Data
Data on 900 wealth management clients was posted on Pastebin, which led the wirehouse to investigate the case.